Scottish Widows Schroder Personal Wealth Limited

• Principal Place of Business

  25 Gresham Street

  London

  EC2V 7HN

  UNITED KINGDOM

  Phone

  +4408081092071

  Web

  https://www.spw.com

• Complaints Contact

  Schroders Personal Wealth

  1 City Square

  Leeds

  LS1 2ES

  UNITED KINGDOM

  Phone

  +4408081092071

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Credit Brokering

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Debt Plan Admin

• Debt Advice

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  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Investment Setup

  For Commercial, Eligible Counterparty, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Debenture, Government and public security, Life Policy, Personal pension scheme, Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Robert Jackson

  IRN RXJ01247

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Client dealing (since 25 Aug 2021)
  • [FCA CF] Functions requiring qualifications (since 25 Aug 2021)
• Robert James Hart

  IRN RJH31024

  • [FCA CF] Manager of certification employee (since 28 Mar 2022)
  • [FCA CF] Functions requiring qualifications (28 Mar 2022 to 7 Jun 2023)
• Robert Mccarthy

  IRN RXM00718

  • [FCA CF] Client dealing (since 12 Sep 2022)
• Robert Penny

  IRN RXP00186

  • [FCA CF] Manager of certification employee (27 Apr 2020 to 8 Apr 2023)
• Robert Richard Stovell

  IRN RRS01023

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • [FCA CF] Functions requiring qualifications (since 27 May 2020)
  • [FCA CF] Client dealing (since 27 May 2020)
  • CF30 Customer (3 Jun 2019 to 8 Dec 2019)
• Robert Steven Hartwell

  IRN RSH01073

  • [FCA CF] Functions requiring qualifications (19 May 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (19 May 2020 to 7 Apr 2021)
  • CF30 Customer (13 Jun 2019 to 8 Dec 2019)
• Robin David Rathbone Smith

  IRN RDS01158

  • [FCA CF] Client dealing (8 Jun 2020 to 23 May 2022)
  • [FCA CF] Functions requiring qualifications (8 Jun 2020 to 23 May 2022)
  • CF30 Customer (30 Sep 2019 to 8 Dec 2019)
• Robin Peter Young

  IRN RPY00003

  • [FCA CF] Functions requiring qualifications (3 Mar 2020 to 7 Apr 2021)
  • [FCA CF] Client dealing (3 Mar 2020 to 7 Apr 2021)
  • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
• Ross Motion

  IRN RXM02901

  • [FCA CF] Functions requiring qualifications (7 Dec 2020 to 2 Mar 2021)
  • [FCA CF] Client dealing (7 Dec 2020 to 2 Mar 2021)
• Rupert Dickinson

  IRN RXD01437

  • [FCA CF] Material risk taker (since 11 Oct 2023)

No changes recorded yet.